the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

agency used for considering the issuance of license, registration or permission to operate the derivatives trade without having to apply for a license or registration including the rule used in supervising

submit the financial statements through the derivatives business operator reporting system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 5

channels. In case of export, specify the domestic/export sales ratio, the export markets or the group of export markets for such major products or services; (b) Describe the industry competition during the

-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3

) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry

personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term

อำนาจในการจัดการของบริษัท ซึ่งอย่างน้อยต้องประกอบด้วย ( หลักปฏิบัติในการซื้อขายหลักทรัพย์ของผู้ให้คำแนะนำ และบุคคล ผู้มีอำนาจในการจัดการของบริษัท (staff dealing rule) · หลักปฏิบัติในการซื้อขายหลักทรัพย์

system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 6 This Notification shall apply to financial statements with accounting periods